TD Securities
Recovery and Resolution Planning Manager -Regulatory
TD Securities, Charlotte, North Carolina, United States, 28245
Recovery and Resolution Planning Manager - Regulatory
Work Location:
Charlotte, North Carolina, United States of America
Hours:
40 hours per week
Pay Details:
$91,000 - $145,600 USD
Line Of Business:
Finance
Job Description This role will be a part of TD's U.S. Recovery and Resolution Planning team. Recovery and Resolution Planning (RRP) is an enterprise‑wide function that ensures TD is prepared to address severe financial stress conditions and implements our practices and oversight of financial crisis management. The RRP function is closely integrated with multiple lines of business, key control functions, and Risk Management to maintain strategies and capabilities that support recovery and resolution preparedness. The RRP team is responsible for coordinating, developing and maintaining TD's U.S. Recovery and Resolution Plans and other regulatory submissions, as required under the Dodd‑Frank Act and other applicable regulations. The Recovery and Resolution Planning Manager leads work streams within the RRP function, including development of required outputs, liaison with relevant stakeholders, briefings to senior management and production of associated reporting.
Depth & Scope
Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
Integrates knowledge of the enterprise sub‑function’s or business line’s overarching strategy in developing solutions across multiple functions or operations
Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
Develops, maintains, enhances processes, reports, procedures, and control frameworks
Manages the interpretation of new regulatory guidance, operationalizes it for responsible areas within the Bank and ensures that the Bank meets regulatory expectations within work streams owned; identifies risk associated with sharing Confidential Supervisory Information (CSI)
Executes the process of control testing
Leads development of distinct testing exercises to support crisis capabilities and/or resolvability of the Bank
Develops specific sections of the recovery and resolution plans
Coordinates and leads meetings as required
Acts as a technical expert / lead integrating cross‑function understanding within their own field of specialty
Independently manages end‑to‑end functional programs
Sovles or leads others to solve complex problems; leads efforts or partners with others to develop new solutions
Uses sophisticated analytical thought to exercise judgement and identify solutions
Impacts the achievement of sub‑function or business line objectives within the area they are accountable for
Work is guided by policies and industry standards/methods
Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
Works autonomously as the lead and guides others within area of expertise
Education & Experience
Undergraduate degree required
7+ years of experience
Preferred Qualifications
7+ years of experience in financial contingency planning, liquidity/capital management, regulatory, risk, legal or compliance organizations in a financial institution.
3+ years of experience in regulatory compliance, conducting regulatory change impact assessments and participating in industry calls and roundtables.
Knowledge and understanding of regulatory requirements issued by the Federal Reserve, FDIC and OCC.
Experience implementing programs to satisfy regulatory requirements, including working with stakeholders to understand the requirements and complete impact assessments.
Experience with the WDesk/Workiva platform.
Experience working across a matrixed organization with multiple stakeholders to achieve a common result.
Excellent analytical, risk assessment and investigative skills.
Must work independently, with a demonstrated ability to take initiative and identify more efficient ways to execute.
Demonstrated ability to see the big picture, make connections and anticipate consequences and outcomes of actions and decisions; must be forward looking.
Must be comfortable working in a fast‑paced, evolving and dynamic environment with changing and competing priorities.
Ability to deal with conflicting points of view and to suggest creative and responsive solutions.
Customer Accountabilities
Develops, maintains, enhances processes, reports, procedures, and control frameworks
Manages the interpretation of new regulatory guidance, operationalizes it for responsible areas within the Bank and ensures that the Bank meets regulatory expectations within work streams owned; identifies risk associated with sharing Confidential Supervisory Information (CSI)
Executes the process of control testing
Leads development of distinct testing exercises to support crisis capabilities and/or resolvability of the Bank
Develops specific sections of the recovery and resolution plans
Facilitates working groups and manages internal and external relationships as required
Contributes to development of RRP documents and artifacts
Provides project management and administrative support to the team as required
Coordinate and lead meetings as required
Shareholder Accountabilities
Adheres to enterprise frameworks or methodologies that relate to activities for the business area
Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
Ensures respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
Protects the interests of the organization – identifies and manages risks, and escalates non‑standard, high risk activities as necessary
Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
Provides organizational support and governance oversight for test delivery, as well as complete regulatory write‑ups on performed tests, as required
Participates in cross‑functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
Monitors service, productivity and assess efficiency levels within own function and it contribute to the continuous improvement of all frameworks, processes, and procedures across Recovery & Resolution Planning
Actively manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Employee/Team Accountabilities
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Keeps current on emerging trends/developments and grow knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners / stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Physical Requirements
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
Who We Are TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Management and Manufacturing
Industries Investment Banking
Get Notified Get notified about new Planning Manager jobs in
Charlotte, NC .
#J-18808-Ljbffr
Charlotte, North Carolina, United States of America
Hours:
40 hours per week
Pay Details:
$91,000 - $145,600 USD
Line Of Business:
Finance
Job Description This role will be a part of TD's U.S. Recovery and Resolution Planning team. Recovery and Resolution Planning (RRP) is an enterprise‑wide function that ensures TD is prepared to address severe financial stress conditions and implements our practices and oversight of financial crisis management. The RRP function is closely integrated with multiple lines of business, key control functions, and Risk Management to maintain strategies and capabilities that support recovery and resolution preparedness. The RRP team is responsible for coordinating, developing and maintaining TD's U.S. Recovery and Resolution Plans and other regulatory submissions, as required under the Dodd‑Frank Act and other applicable regulations. The Recovery and Resolution Planning Manager leads work streams within the RRP function, including development of required outputs, liaison with relevant stakeholders, briefings to senior management and production of associated reporting.
Depth & Scope
Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
Integrates knowledge of the enterprise sub‑function’s or business line’s overarching strategy in developing solutions across multiple functions or operations
Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
Develops, maintains, enhances processes, reports, procedures, and control frameworks
Manages the interpretation of new regulatory guidance, operationalizes it for responsible areas within the Bank and ensures that the Bank meets regulatory expectations within work streams owned; identifies risk associated with sharing Confidential Supervisory Information (CSI)
Executes the process of control testing
Leads development of distinct testing exercises to support crisis capabilities and/or resolvability of the Bank
Develops specific sections of the recovery and resolution plans
Coordinates and leads meetings as required
Acts as a technical expert / lead integrating cross‑function understanding within their own field of specialty
Independently manages end‑to‑end functional programs
Sovles or leads others to solve complex problems; leads efforts or partners with others to develop new solutions
Uses sophisticated analytical thought to exercise judgement and identify solutions
Impacts the achievement of sub‑function or business line objectives within the area they are accountable for
Work is guided by policies and industry standards/methods
Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
Works autonomously as the lead and guides others within area of expertise
Education & Experience
Undergraduate degree required
7+ years of experience
Preferred Qualifications
7+ years of experience in financial contingency planning, liquidity/capital management, regulatory, risk, legal or compliance organizations in a financial institution.
3+ years of experience in regulatory compliance, conducting regulatory change impact assessments and participating in industry calls and roundtables.
Knowledge and understanding of regulatory requirements issued by the Federal Reserve, FDIC and OCC.
Experience implementing programs to satisfy regulatory requirements, including working with stakeholders to understand the requirements and complete impact assessments.
Experience with the WDesk/Workiva platform.
Experience working across a matrixed organization with multiple stakeholders to achieve a common result.
Excellent analytical, risk assessment and investigative skills.
Must work independently, with a demonstrated ability to take initiative and identify more efficient ways to execute.
Demonstrated ability to see the big picture, make connections and anticipate consequences and outcomes of actions and decisions; must be forward looking.
Must be comfortable working in a fast‑paced, evolving and dynamic environment with changing and competing priorities.
Ability to deal with conflicting points of view and to suggest creative and responsive solutions.
Customer Accountabilities
Develops, maintains, enhances processes, reports, procedures, and control frameworks
Manages the interpretation of new regulatory guidance, operationalizes it for responsible areas within the Bank and ensures that the Bank meets regulatory expectations within work streams owned; identifies risk associated with sharing Confidential Supervisory Information (CSI)
Executes the process of control testing
Leads development of distinct testing exercises to support crisis capabilities and/or resolvability of the Bank
Develops specific sections of the recovery and resolution plans
Facilitates working groups and manages internal and external relationships as required
Contributes to development of RRP documents and artifacts
Provides project management and administrative support to the team as required
Coordinate and lead meetings as required
Shareholder Accountabilities
Adheres to enterprise frameworks or methodologies that relate to activities for the business area
Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
Ensures respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
Protects the interests of the organization – identifies and manages risks, and escalates non‑standard, high risk activities as necessary
Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
Provides organizational support and governance oversight for test delivery, as well as complete regulatory write‑ups on performed tests, as required
Participates in cross‑functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
Monitors service, productivity and assess efficiency levels within own function and it contribute to the continuous improvement of all frameworks, processes, and procedures across Recovery & Resolution Planning
Actively manages relationships within and across various business lines, corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Employee/Team Accountabilities
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Keeps current on emerging trends/developments and grow knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners / stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Physical Requirements
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
Who We Are TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more
Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Management and Manufacturing
Industries Investment Banking
Get Notified Get notified about new Planning Manager jobs in
Charlotte, NC .
#J-18808-Ljbffr